0800 266 751

Complianz

Complianz is an independent compliance and risk consulting firm that specialises in assisting financial services companies to recognise and manage their risks and to adhere with legal requirements. We help businesses to understand the legislation and to implement compliance and risk frameworks to ensure compliance with the law and to meet best practise standards.

In addition, we offer regular training to maintain a high level or awareness of compliance and risk. A monitoring service is also provided at set intervals to keep the business informed on the effectiveness of their controls.

Complianz was founded in 2004 and has assisted many businesses in New Zealand and Australia to comply with legislation. We are New Zealand's oldest financial services compliance company and our goal is to be New Zealand's leading supplier of compliance, risk, and governance products and services.

Elizabeth Ginever

Managing Director, Senior Consultant, AML/CFT Auditor

Email: elizabeth.ginever@complianz.biz
Mobile: +64 (0)21 398 138

Background

Elizabeth has been involved in compliance and risk since 1995 and has a wealth of experience and knowledge of the financial services compliance requirements. She began her compliance and risk career in Australia in a boutique risk management firm before moving to London to work for Deutsche Bank Ag and other multi-nationals in anti-money laundering roles. Several years later she returned to Australia, Sydney, and assisted companies such as Mizuho International and Zurich with their compliance systems.

After travelling extensively throughout South and Central America, Elizabeth then settled in New Zealand and began Financial Services Compliance Limited in 2004. Since then she has assisted many clients by designing, implementing, reviewing and training in risk and compliance matters.

Importantly, her approach to compliance is one of collaboration and ensuring that clients understand their obligations.

Experience

  • Risk and Compliance Consultant to financial services companies in New Zealand and Australia in areas such as:
    • Conflicts of Interest, Privacy Policy, Disputes Resolution Process, Insider Trading
    • Customer Due Diligence, Fit and Proper Assessments, Disaster Recovery Policy
  • Licence application requirements – creating framework and documentation for licences
  • Creation and review of AML/CFT Risk Assessment and Programmes along with performing independent AML/CFT Audits
  • Compliance training at all levels of the business
  • Ongoing monitoring (monthly) of compliance and risk requirements

Areas of Expertise

  • AML/CFT requirements
  • AML/CFT audit
  • Licence applications
  • Compliance and Risk Frameworks
  • Compliance monitoring

Education

  • Diploma of Financial Markets - Finsia (2001)
  • Registered Representative – SFE (1999)

Bart Peters

Senior Consultant and AML/CFT Auditor

Email: bart.peters@complianz.biz
Mobile: +64 21 398 139

Background

After a career in audit with KPMG, Bart worked in compliance for more than 20 years in the Netherlands.He was a compliance manager for a major Dutch bank and an equity partner and director at a leading firm in compliance consulting and training.

In 2016 Bart and his family decided to move to New Zealand and subsequently Bart decided to pursue his career in compliance at Financial Services Compliance Ltd.

Experience

  • Acting as compliance officer for several companies in the financial industry
  • Acting as compliance consultant for financial institutions and other organizations on:
    • regulatory compliance
    • integrity and sound business conduct
    • governance
    • insider trading, market abuse and Chinese Walls
    • AML
    • fair dealing
    • whistle blowing procedures etc
  • Training and lecturing on compliance topics
  • Auditor with several listed and unlisted companies and non-profit organizations

Areas of Expertise

  • Advice and review re compliance framework and documents
  • Compliance and integrity risk assessment
  • Compliance awareness and training
  • Compliance monitoring

Education

Chartered Accountant NBA (1994)



Contact us

PO Box 300667
Albany
Auckland 0752
Phone: 0800 266 751
Email: info@complianz.biz
 

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